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HomeMy WebLinkAboutOCSD 18-22 (REPEALED)RESOLUTION NO. OCSD 18-22 A RESOLUTION OF THE BOARD OF DIRECTORS OF THE ORANGE COUNTY SANITATION DISTRICT ADOPTING THE RECORDS MANAGEMENT PROGRAM POLICY AND PROCEDURES & UPDATED RECORDS RETENTION SCHEDULE, AUTHORIZING DESTRUCTION OF OBSOLETE RECORDS, AND REPEALING RESOLUTION NO. OCSD 15-16 WHEREAS, it is necessary to establish a policy to maintain a Records Management Program ("Program") that provides for the identification, access, and protection of all records generated or received by the District; and WHEREAS, said Program ensures that all District records are created, received, maintained, and destroyed in a legal and cost-effective manner, in accordance with operating requirements for District business and applicable statutes and regulations; and WHEREAS, the Board of Directors of the District are authorized, by the provisions of California Government Code Sections 60200 through 60204, inclusive to destroy records under certain conditions, and WHEREAS, it is described and appropriate to authorize the destruction of the records on a routine basis; that have been retained for a defined period of time, that are copies of originals on file with the District, or that have been preserved in conformance with all applicable statutes. NOW, THEREFORE, the Board of Directors of Orange County Sanitation District, DOES HEREBY RESOLVE, DETERMINE, AND ORDER: Section 1: Adoption of the Current Records Management Policy and Procedures. The Board of Directors of the District hereby adopts the currently established Records Management Policy and Procedures. Section 2: Adoption of Updated Records Retention Schedule. The Board of Directors of the District hereby adopts changes to the Records Retention Schedule, set forth in Appendix "A" incorporated herein by reference. Section 3: Authorization for Destruction of Records. The destruction of records, papers, and documents is hereby authorized, pursuant to California Government Code Sections 60200 et seq., after such records have been retained for the minimum time set forth in the Records Retention Schedule. Section 4: Destruction of Records After Preservation. Any record not expressly required by law to be filed and preserved may be destroyed at any time after it is preserved in conformance with the requirements of California Government Code Section 60203. OCSD 18-22-1 REPEALED BY OCSD 20-10 Section 5: Destruction of Duplicates . Pursuant to California Government Code Section 60200 , any duplicate record , paper , or document (the original or a permanent copy of which is in the files of any office or Department of the District) may be destroyed after confirmation with Records Management that such original or permanent copy remains on file in the District. Section 6: Retention of Records Not Mentioned . All records , papers , and documents not mentioned in this Resolution shall be retained . Section 7: Resolution No. OCSD 15-16 is hereby repealed . PASSED AND ADOPTED at a regular meeting of the Board of Directors held December 19 , 2018 . OCSD 18-22-2 STATE OF CALIFORNIA ) ) SS COUNTY OF ORANGE ) I, Kelly A. Lore , Clerk of the Board of Directors of the Orange County Sanitation District, do hereby certify that the foregoing Resolution No . OCSD 18-22 was passed and adopted at a regular meeting of said Board on the 19th day of December 2018, by the following vote, to wit: AYES: NOES: ABSTENTIONS: ABSENT: Avery (Alternate); Bernstein; Collacott ; Deaton ; Ferryman; Hawkins; Kim; Kring; R. Murphy; Nagel; Nguyen; Parker; Peterson; Shaw; Shawver; Silva; F. Smith; Wagner; Wanke; Withers and Yarc None None Jones; M. Murphy (Alternate); Steel; and VACANT (Santa Ana) IN WITNESS WHEREOF, I have hereunto set my hand and affixed the official seal of Orange County Sanitation District this 19th day of December 2018 . OCSD 18-22-3 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC Vital Confidential Historical BSD001 LO BSD002 LO V H BSD003 LO V BSD004 LO V H BSD005 LO BSD006 2 BSD007 T+10 V BSD008 T+7 BSD009 LO V Revenue & Taxation Code Terminated Internal Revenue Code Life of Organization or Permanent Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Penal Code (CA)Superseded Office of Management & Budget Separated Retention Number Record Type Retention Length (Years Unless Specified) Special Storage Consideration Retention Citations / Comments Affidavits of Publications Notices GC §60201, GC §54960.1(c)(1) Secretary of State Vital Board ServicesUnited States Code Water Code General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Citation Codes Retention Codes Orange County Sanitation District Records Retention Schedule Bids - Awarded (Board Reviewed)GC §60201(d)(6); SOS c30; SoS c27 Bids - Unsuccessful (Board Reviewed)GC §34090; GC §60201(d)(11); SOS c30; GC §602010(d)(6) Board Administration Files: Loyalty Oaths, Election Records, Directors Lists, Contact Information PC §801.5 22; 29 USC §1113; SOS c18; GC §34090(d)(1) Agenda and Committee Reports GC §34090; SOS c22; SoS c42 Agreements & Contracts, Political & Outside Jurisdictions/Agencies: Cooperative Agreements, JPAs (Joint Powers Authorities), JFAs (Joint Finance Authorities), Interagency, etc. GC §60201; GC §60201(d)(9); GC §60201(d)(1) Annexation Files GC §34090; GC §60201(d)(1); SOS c28 Conflict of Interest (FPPC Filings)GC §81009(e); SOS c18 Contracts/Agreement - Board Review and Approval: Includes Specifications GC §60201(d)(1); CCP 337 et seq.; SOS c22; GC §34090(e) 1 Board Services Adopted: TBDOCSD 18-22-4 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC Vital Confidential Historical Revenue & Taxation Code Terminated Internal Revenue Code Life of Organization or Permanent Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Penal Code (CA)Superseded Office of Management & Budget Separated Retention Number Record Type Retention Length (Years Unless Specified) Special Storage Consideration Retention Citations / Comments Secretary of State Vital Board ServicesUnited States Code Water Code General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Citation Codes Retention Codes Orange County Sanitation District Records Retention Schedule BSD010 LO BSD011 5 BSD012 LO V H BSD013 LO V H BSD014 LO V C H BSD015 CL+6 BSD016 LO V H BSD017 LO V H Ethics Training: Sexual Harassment Board Only, Ethics Training Board & Employee GC §53235.2(b) Formation Files GC §60201(d)(1) Land Records: Easements, Grant Deeds, Quit Claim Deeds, Abandonments, Condemnations, Real Estate Purchase & Sale, Property Agreements, Encroachment Permits, Etc. GC §60201(d)(8); GC §34090(a); Originals Managed by Board Services Director's Agency Correspondence: Appointments and Reorganizations GC §60201 Ordinances GC §60201(d)(2) Legal Opinions SOS c23 Litigation Files GC §60201(d)(4) Meeting Minutes: Board & Board Committees GC §60201(d)(3) 2 Board Services Adopted: TBDOCSD 18-22-5 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC Vital Confidential Historical Revenue & Taxation Code Terminated Internal Revenue Code Life of Organization or Permanent Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Penal Code (CA)Superseded Office of Management & Budget Separated Retention Number Record Type Retention Length (Years Unless Specified) Special Storage Consideration Retention Citations / Comments Secretary of State Vital Board ServicesUnited States Code Water Code General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Citation Codes Retention Codes Orange County Sanitation District Records Retention Schedule BSD018 LO V H BSD019 LO V H BSD020 LO BSD021 3 BSD022 CL+6 BSD023 CL+2 Recorded Project Documents: Board Approved Notice of Completion GC §60201(d)(8); SOS c26 Resolutions GC §60201(d)(2); GC §34090€ Public Record Act Requests GC §60201(d)(5); SoS c23 Tapes & Digital Recordings (Audio): Board or Committee Meetings GC §54953.5(b) Minimum retention 30 days or until adoption of the minutes Per Brown Act Director Communications: General Board Correspondence PC 801.5 22; 29 USC §1113; Director communications subject to the Brown Act (e.g., prohibitions on serial meetings, private deliberations) Claims GC §60201 3 Board Services Adopted: TBDOCSD 18-22-6 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC Vital Confidential Historical CPM001 LO V CPM002 CL+6 V CPM003 LF V C CPM004 CL+6 CPM005 CL+6 Revenue & Taxation Code Terminated Internal Revenue Code Life of Organization or Permanent Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Penal Code (CA)Superseded Office of Management & Budget Separated Retention Number Record Type Retention Length (Years Unless Specified) Special Storage Consideration Retention Citations / Comments Contract & Agreement File - Capital Improvement Projects (CIP): (Includes Insurance certificates, authorization document, change orders, amendments, notices, construction, etc.) GC §60201; GC §60201(d)(6); GC §60201(d)(8) SoS c 22; Originals Kept in Board Services Secretary of State Vital Contracts, Purch. & MaterialsUnited States Code Water Code General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Citation Codes Retention Codes Orange County Sanitation District Records Retention Schedule Purchase Order & Requisition Files (OA and OB): Open Annual and Open Blanket GC §60201(d)(12); CCP §337; SOS c30 Contract & Agreement File - Non Capital Improvement Projects (Non CIP): Professional Services, Equipment, Supplies, etc.GC §60201; GC §60201(d)(12) Escrow Bid Documents CCP §337.15 Unsuccessful Bid Documents returned to Contractor after Contract is Awarded. The escrow bid documents for the awarded contractor are returned once the construction contract is complete. OCSD acts as a temporary custodian of the documents, which remain the property of the bidders. These documents are held confidentailly. Procurement File: RFP, NIV, Addendum, Q&A Log, Evaluation Material, Correspondence etc.GC §60201; CCP 337; SoS c30 4 Contracts, Purch. & Materials Adopted: TBDOCSD 18-22-7 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC Revenue & Taxation Code Terminated Internal Revenue Code Life of Organization or Permanent Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Penal Code (CA)Superseded Office of Management & Budget Separated Secretary of State Vital Contracts, Purch. & MaterialsUnited States Code Water Code General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Citation Codes Retention Codes Orange County Sanitation District Records Retention Schedule CPM006 CL+2 CPM007 4 CPM008 4 CPM009 T+1 CPM010 CL+10 CPM011 CL+10 CPM012 CL+10 CPM013 CL+10 Purchase Order & Requisition Files (OP and OS): Open Purchase and Open Service CCP §337; SOS c30 Warehouse Materials Management Records: Includes Disposal of Surplus Assets GC §60201; GC §34090; CCP §337, SOS c29 Now Kept in Database. Paper records 4 years; Database indefinite. Bids: Original Bids, Original bid bonds; OSHA logs SoS c30; CCP 337.15 Bid Evaluation Materials: Evaluator certifications, Responsiveness & Responsibility review documents (safety, finance, experience requirements), clarification requests and responses, Bid Evaluation memorandum; notice of award recommendation CCP 337.15; SoS c30; CCP 337; 343 Protest Documents - Bids and Proposals: Protest and associated documents, determination on protest, appeal, determination of appeal CCP 337, 343 Warehouse Records: Sales Orders, Discrepancies, Add To Stores, Receivers, Return To Vendors (RTV), Shipping Records, Inventories CCP §337; Now Kept in Database. Paper records 4 years; Database indefinite. Procurement Card Documentation Reconciliation, reports, agreement, correspondence, etc. GC §60201 CIP Project Bid Package Pre-Award: Published Invitation for Bid (IFB) Documents, including Specifications & Drawings, Addenda and Bulletins issued, Bid Requirements Form, Question and Answer Logs, Outreach Materials CCP 337; CCP 337.15; GC §60201(d)(4); GC §60201(d)(11); SoS c30 - bids = AU+4 5 Contracts, Purch. & Materials Adopted: TBDOCSD 18-22-8 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC Revenue & Taxation Code Terminated Internal Revenue Code Life of Organization or Permanent Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Penal Code (CA)Superseded Office of Management & Budget Separated Secretary of State Vital Contracts, Purch. & MaterialsUnited States Code Water Code General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Citation Codes Retention Codes Orange County Sanitation District Records Retention Schedule CPM014 CL+10 CPM015 LF CPM016 CL+10 CPM017 CL+10 CPM018 CL+10 Proposals and sealed fee proposals CCP 337.15; GC §60201 Proposal Evaluation Materials: Evaluator certifications, Responsiveness review documents, evaluator scores and summary sheets, consultant selection memorandum, fee proposal of selected firm, notice of award recommendation CCP 337.15; GC §60201 Project Documents - Bids and Proposals: Insurance certificates, preliminary notices, stop notices, Notice of Completion CCP 337; CCP 337.15; GC §60201(d)(4); GC §60201(d)(11); SoS c30 - bids = AU+4 Request for Qualifications and Request for Proposals (RFQ and RFP) - Facilities Design: Published RFQ or RFP, Addenda issued, Question and Answer Logs, Outreach materials, Interview materials CCP 337.15 Request for Qualifications and Request for Proposals (RFQ and RFP)- Non- Facilities Design: Services, Reports, Studies, Published RFQ or RFP, Addenda issued, Question and Answer Logs, Outreach materials, Interview materials CCP 337.15 6 Contracts, Purch. & Materials Adopted: TBDOCSD 18-22-9 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC Vital Confidential Historical ENG001 CL+2 ENG002 LF ENG003 20 ENG004 CL+2 ENG005 LO General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Terminated Secretary of State Vital EngineeringUnited States Code Water Code Citation Codes Retention Codes Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Penal Code (CA)Superseded Office of Management & Budget Separated Revenue & Taxation Code Retention Number Record Type Retention Length (Years Unless Specified) Special Storage Consideration Retention Citations / Comments CEQA Documents with outside Cities/Agencies 14 CCR §15095(c); 14 CCR§ 15208; 14 CCR §15075, 15094; 14 CCR §15062; 14 CCR §15112; GC §60201; GC §60201(d)(10); SoS c27 Planning Coordination Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Code Life of Organization or Permanent Orange County Sanitation District Records Retention Schedule CEQA Correspondence with outside Cities/Agencies: Letters, meeting minutes City or County Plans: Specific Plan, Master Plan Utility Requests: Received Plans, OCSD response General Correspondence: Letters, meeting minutes 14 CCR §15095(c); 14 CCR§ 15208; 14 CCR §15075, 15094; 14 CCR §15062; 14 CCR §15112; GC §60201(d)(10); SoS c27 Planning Coordination SoS c28; SoS c27; SoS c26; GC §60201(d)(10) Planning Coordination GC §60201; SoS c29 Planning Coordination SoS c23; GC §60201(d)(3); SoS a2 Planning Coordination 7 Engineering Adopted: TBDOCSD 18-22-10 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Terminated Secretary of State Vital EngineeringUnited States Code Water Code Citation Codes Retention Codes Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Penal Code (CA)Superseded Office of Management & Budget Separated Revenue & Taxation Code Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Code Life of Organization or Permanent Orange County Sanitation District Records Retention Schedule ENG006 LO ENG007 CL+10 ENG008 CL+10 ENG009 CL+10 ENG010 CL+10 ENG011 CL+10 Agreements, Annexations, Land Records, Connection Permits, Encroachment Permit Supporting Documentation: Letters, meeting minutes Project Development: Correspondence, Feasibility Study, Gate Review, Meeting Agenda and Minutes, Project Photos, Handoff Documents, Consultant Monthly Report Preliminary Design: Correspondence, Design Submittal, Gate Review, Meeting Agenda and Minutes, PDR Documentation, Project Photos, Public Outreach, Consultant Monthly Report Design: Consultant Monthly Report, Correspondence, Design Submittal, FDS, Gate Review, Meeting Agenda and Minutes, Project Photos, Public Outreach, Handoff Documents, ETAP Documents Construction and Installation: Consultant Monthly Report, Contract Submittal, Correspondence, Gate Review, Inspection Documentation, Meeting Agenda and Minutes, Project Photos, Public Outreach, Requests and Changes (Bulletin, Contractor Cost Proposal, Delay and Schedule Analysis, Field Change Order, Request for Change, Request for Information, Request for Proposal, Time and Materials Report), Safety Documentation, ETAP Documents GC §60201(d)(8) Planning Coordination GC §60201 CIP Project Document GC §60201 CIP Project Document GC §60201 CIP Project Document CCP §337.15 CIP Project Document Commissioning: Correspondence, Gate Review, Meeting Agenda and Minutes, Project Photos, Substantial Completion-Beneficial Use, Use Prior to Completion, Substantial Completion, Final Completion, Testing Documentation CCP §337.15 CIP Project Document 8 Engineering Adopted: TBDOCSD 18-22-11 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Terminated Secretary of State Vital EngineeringUnited States Code Water Code Citation Codes Retention Codes Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Penal Code (CA)Superseded Office of Management & Budget Separated Revenue & Taxation Code Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Code Life of Organization or Permanent Orange County Sanitation District Records Retention Schedule ENG012 CL+10 ENG013 CL+10 ENG014 CL+10 ENG015 CL+10 Closeout: Correspondence, Gate Review, Meeting Agenda and Minutes, Project Photos, Final Acceptance and Release of Retention, Warranty Documentation Professional Service Agreement: Solicitation (Addendum and Question Answer Document, Award Document, Meeting Agenda and Minutes, Proposal and Evaluation, Protest Document, Request for Proposal, Request for Qualification, Scope of Work, Sole Source, Statement of Qualification and Evaluation), Contract Administration (Agreement Closeout, Amendment and Reallocation, Conformed Agreement Package, Consultant Invoice) Professional Design Service Agreement: Solicitation (Addendum and Question Answer Document, Award Document, Meeting Agenda and Minutes, Proposal and Evaluation, Protest Document, Request for Proposal, Request for Qualification, Scope of Work, Sole Source, Statement of Qualification and Evaluation), Contract Administration (Agreement Closeout, Amendment and Reallocation, Conformed Agreement Package, Consultant Invoice) Professional Construction Service Agreement: Solicitation (Addendum and Question Answer Document, Award Document, Meeting Agenda and Minutes, Proposal and Evaluation, Protest Document, Request for Proposal, Request for Qualification, Scope of Work, Sole Source, Statement of Qualification and Evaluation), Contract Administration (Agreement Closeout, Amendment and Reallocation, Conformed Agreement Package, Consultant Invoice) GC §60201(d)(12); CCP §337.15 CIP Project Document GC §60201(d)(12); CCP §337.15 Contract Documentation GC §60201(d)(12); CCP §337.15 Contract Documentation GC §60201(d)(12); CCP §337.15 Contract Documentation 9 Engineering Adopted: TBDOCSD 18-22-12 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Terminated Secretary of State Vital EngineeringUnited States Code Water Code Citation Codes Retention Codes Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Penal Code (CA)Superseded Office of Management & Budget Separated Revenue & Taxation Code Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Code Life of Organization or Permanent Orange County Sanitation District Records Retention Schedule ENG016 CL+10 ENG017 CL+10 ENG018 CL+10 ENG019 CL+10 GC §60201; CCP §337.15 Cost and Schedule Documentation 14 CCR §15095(c); 14 CCR§ 15208; 14 CCR §15075, 15094; 14 CCR §15062; 14 CCR §15112; GC §60201(d)(10); SoS c27 Permits and CEQA Documentation Construction Agreement: Solicitation (Addendum and Question Answer Document, Award Document, Bid and Evaluation, Invitation for Bid Document, Meeting Agenda and Minutes, Protect Document, Sole Source) Contract Administration (Certified Payroll, Change Order, Claims Documentation, Conformed Contract Package, Contract Closeout, Contractor Progress Payment, Other Agreement, Stop Notice Request- Release Task Order: Solicitation (Addendum and Question Answer Document, Award Document, Meeting Agenda and Minutes, Proposal and Evaluation, Protest Document, Request for Proposal, Request for Qualification, Scope of Work, Sole Source, Statement of Qualification and Evaluation), Contract Administration (Agreement Closeout, Amendment and Reallocation, Conformed Agreement Package, Consultant Invoice) GC §60201(d)(12); CCP §337.15 Contract Documentation GC §60201(d)(12); CCP §337.15 Contract Documentation Budget Documentation: Budget Table and Schedule Documentation (Construction Schedule Documentation) CEQA Documentation: Correspondence, Meeting Agenda and Minutes 10 Engineering Adopted: TBDOCSD 18-22-13 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Terminated Secretary of State Vital EngineeringUnited States Code Water Code Citation Codes Retention Codes Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Penal Code (CA)Superseded Office of Management & Budget Separated Revenue & Taxation Code Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Code Life of Organization or Permanent Orange County Sanitation District Records Retention Schedule ENG020 LF ENG021 LF ENG022 LF ENG023 LO ENG024 LF ENG025 LF GC §60201 Permits and CEQA Documentation GC §60201 Facility Records GC §60201 Facility Records GC §60201; CCP §337.15 Facility Records GC §60201 Facility Records Permits Documentation: AQMD, Army Corp of Engineer, CA Coastal Commission/Coastal Development, Certification of Environmental Compliance, Contaminated Soil Manifest, Dewatering Data, Encroachment/Right of Way, Mitigation Measure Monitoring Reporting, Other, Permit for Construction, RWQCB, Storm Water Compliance Reporting Engineering Drawing: Conformed Set Drawings, Record Drawings (Tunnel Cross-Section, Vault Detail), Shop Drawings CEQA: Draft EIR, EIR Addends, EIRs OCSD, Final EIR, Neg Dec-Mitigated Neg Dec, Notice of Exemption, Notice of Preparation Code and Standards Design Documentation: Engineering Study and Analysis, Technical Memoranda Inspection: Electrical Test Report, Geotechnical Report, Instrumentation Testing, Materials Testing Report, Mechanical Testing, Other Test Report, Soil Report, Structural Testing, Survey Report GC §60201 Facility Records 11 Engineering Adopted: TBDOCSD 18-22-14 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Terminated Secretary of State Vital EngineeringUnited States Code Water Code Citation Codes Retention Codes Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Penal Code (CA)Superseded Office of Management & Budget Separated Revenue & Taxation Code Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Internal Revenue Code Life of Organization or Permanent Orange County Sanitation District Records Retention Schedule ENG026 LO ENG027 LO ENG028 LF ENG029 S+2 ENG030 LF GC §60201 Facility Records GC §60201; SoS §c29; SoS §c44 Facility Records GC §60201 Facility Records Report: Air Quality, Annual Report, Inspection Report, Master Plans OCSD, Preliminary Design Report/Tech Memo, Reports Technical, Planning Study Report Specification Conformed Connection Permit: Trunk Sewer Connection Permit Facility Permits: AQMD, Army Corp of Engineer, CA Coastal Commission/Coastal Development, Dewatering Data, RWQCB, EPA, CA Dept. of Fish & Game, OCFCD Permit, Railway Permit Land Records: Agreement, Annexation, Easement, Grant Deed, Permit, Quit Claim Deed, Utility Agreement, Will Serve Letter, Encroachment Permit GC §60201(d)(8) Facility Records SoS §c27 Facility Records 12 Engineering Adopted: TBDOCSD 18-22-15 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC Vital Confidential Historical ESD001 7 ESD002 LO ESD003 LO ESD004 7 ESD005 6 ESD006 LO ESD007 7 Revenue & Taxation Code Terminated Internal Revenue Code Life of Organization or Permanent Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Penal Code (CA)Superseded Office of Management & Budget Separated Secretary of State Vital Environmental ServicesUnited States Code Water Code General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Citation Codes Retention Codes Orange County Sanitation District Records Retention Schedule AQMD Permits: Various Equipment and Engines Operation GC §60201; SoS c26 Biosolids Management Records: Biosolids Hauling, Use, EMS Activities 40 CFR §503.17; 40 CFR §122.41(j)(2); 40 CFR §122.21; SOS c47 Chain of Custody - Laboratory GC §60201; SoS c22; 40 CFR 403.12(o); 40 CFR 503.17(a)(3)(i); (a)(4); 40 CFR 122.41(j)(2); 122.21(j)(4)- (6) Retention Number Record Type Retention Length (Years Unless Specified) Special Storage Consideration Retention Citations / Comments Air Quality & AQMD Files: Testing Reports and Permit Applications CCP §338(k); SOS c27; SoS c17 Collection Systems Records: Problem Reports and Customer Complaints GC §60201; Business Value; SoS c33 - Public Safety; SoS c43 Compliance Program Documentation: Storm Water, SSO, Post Construction Mitigation, SSMP (WDR) SoS c25; SoS c27; SoS c45; 40 CFR 141.33; 40 CFR Part 141; 40 CFR 122.41 Data Packet - Analytical Chemistry & Metals: QA QC Reports, Final Processed Data Copies, Raw Data, LIMS Reports, Extraction Sheets, Comments & Corrective Actions GC §60201; SoS C33 13 Environmental Services Adopted: TBDOCSD 18-22-16 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC Vital Confidential Historical Revenue & Taxation Code Terminated Internal Revenue Code Life of Organization or Permanent Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Penal Code (CA)Superseded Office of Management & Budget Separated Secretary of State Vital Environmental ServicesUnited States Code Water Code General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Citation Codes Retention Codes Orange County Sanitation District Records Retention Schedule Retention Number Record Type Retention Length (Years Unless Specified) Special Storage Consideration Retention Citations / Comments ESD008 LO ESD009 LO ESD010 LO ESD011 LO ESD012 LO ESD013 7 ESD014 6 ESD015 LO Interagency (Outside) Agreements and Documentation MOU, Correspondence EPA GC §60201; GC §60201(d)(1); SoS c-24 Environmental Audit Records: Internal Audits Within OCSD GC §60201 Environmental Audit Records : Conducted By OCSD GC §60201 Environmental Audit Records : External Audits Conducted By Outside Agencies GC §60201; SOS c27; SoS c17 OMP Field Datasheets: Field Data and Collection Documentation, Animal Counts, Fish Collection Observations GC §60201; SoS c46; 40 CFR 141.33 Lab SOP's GC §60201 Laboratory Records: Data Logs, Lab Equipment Maintenance and Sterilization GC §34090.7, SOS c22; 40 CFR 141.33; 141.19 Non Permittee Files: Inspection reports data, correspondence GC §60201 14 Environmental Services Adopted: TBDOCSD 18-22-17 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC Vital Confidential Historical Revenue & Taxation Code Terminated Internal Revenue Code Life of Organization or Permanent Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Penal Code (CA)Superseded Office of Management & Budget Separated Secretary of State Vital Environmental ServicesUnited States Code Water Code General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Citation Codes Retention Codes Orange County Sanitation District Records Retention Schedule Retention Number Record Type Retention Length (Years Unless Specified) Special Storage Consideration Retention Citations / Comments ESD016 LO V ESD017 EX+6 ESD018 LO H ESD019 LO ESD020 LO ESD021 3 Permits, NPDES 40 CFR §122.41(j)(2), 40 CFR §403.12(o) Permittee Files: Discharge Permits and Urban Runoff 40 §CFR 122.41(j)(2), §403.12(o) Waste Hauler Manifests 40 CFR §403.12(o)(v)(2) Published Articles GC §60201; SoS c24 Underground Storage Tanks 23 CCR §2772; SOS c33 Unprocessed Instrumentation Files & Lab Reports: Compliant DMR's, Annual Reports, Lab Database GC §60201; 40 CFR § 122.41(j) 15 Environmental Services Adopted: TBDOCSD 18-22-18 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC Vital Confidential Historical FAD001 4 FAD002 CL+7 FAD003 CL+7 V FAD004 LO FAD005 LO FAD006 S+5 FAD007 6 FAD008 LO V Revenue & Taxation Code Terminated Internal Revenue Code Life of Organization or Permanent Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Penal Code (CA)Superseded Office of Management & Budget Separated Retention Number Record Type Retention Length (Years Unless Specified) Special Storage Consideration Retention Citations / Comments Accounting Reports: Quarterly and Monthly Reports GC §60201; SOS a1 Secretary of State Vital Financial & Admin. ServicesUnited States Code Water Code General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Citation Codes Retention Codes Orange County Sanitation District Records Retention Schedule Audit Records: Financial Statements, Audit Management Letters, Comprehensive Annual Financial Report (CAFR) GC §60201 et seq.; SoS c30 Bank Signature Cards GC §60201; Retain for 5 years after superseded Banking Records: Deposit Receipts, Bank Statements, Checking Account Reconciliation, Cash Transfer Report, Adjustments - Returned Checks (NSF), Etc. GC §60201; SOS c29; SoS c 30 Accounts Payable Files: Vendor and Contractor Invoices, Bills, Statements, Any Non-Discharged Debt GC §60201(d)(12); SOS c29; CL referes to final payment Accounts Receivable Files GC §60201(d)(12); CCP §337 et seq.; SOS c29; CL referes to final payment Annual Report - Financial GC §60201; SOS c30 Bonds: Certificates of Participation, Transcripts, Disclosure Reports, Registers, Issue Records Determination of Allocation CCP §336(a), §337.5; GC §43900 et seq.; GC §60201 et seq. 16 Financial & Admin. Services Adopted: TBDOCSD 18-22-19 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC Vital Confidential Historical Revenue & Taxation Code Terminated Internal Revenue Code Life of Organization or Permanent Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Penal Code (CA)Superseded Office of Management & Budget Separated Retention Number Record Type Retention Length (Years Unless Specified) Special Storage Consideration Retention Citations / Comments Secretary of State Vital Financial & Admin. ServicesUnited States Code Water Code General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Citation Codes Retention Codes Orange County Sanitation District Records Retention Schedule FAD009 LO V FAD010 5 FAD011 7 FAD012 7 FAD013 7 FAD014 10 FAD015 Indefinite FAD016 LF V FAD017 LO V Check Records: Cancelled Payroll Checks, Voided Copies For Automatic Deposits, Registers, Requests GC §60201(d)(12); CCP §337; SOS c29 Capital Facility Capacity Charges (CFCC) GC §60201(d)(12); CCP §337; SOS c29 Expense Reports GC §60201(d)(12); CCP §337, SOS a1 Budgets (Adopted)GC §60200; Vital During Current FY; SoS c29 Budgets vs Actual: Supporting Documentation Summaries, Worksheets, Goals and Objectives, Milestones GC §60201; §34090; SOS c29 General Ledger SOS c29, GC §60201(d)(12) Financial Statements SOS c39 Financial System: ERP Database, Access Database, Utility Billing Data Fields / Records are interrelated; GC §60201 Fixed Asset Records GC §60201; SOS c29; Life of Asset 17 Financial & Admin. Services Adopted: TBDOCSD 18-22-20 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC Vital Confidential Historical Revenue & Taxation Code Terminated Internal Revenue Code Life of Organization or Permanent Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Penal Code (CA)Superseded Office of Management & Budget Separated Retention Number Record Type Retention Length (Years Unless Specified) Special Storage Consideration Retention Citations / Comments Secretary of State Vital Financial & Admin. ServicesUnited States Code Water Code General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Citation Codes Retention Codes Orange County Sanitation District Records Retention Schedule FAD018 LO FAD019 LO FAD020 LO FAD021 CL+7 FAD022 LO FAD023 CL+7 V Investment Records: Policy, transaction records, summary of portfolio, asset detail etc.GC §34090; CCP §337; GC §53607; SOS c30 Journal Entries GC §60201; CCP §337; SOS c29 Payroll Records: Timesheets, Payroll Registers and Reports, Unemployment Claims, Garnishments, Payment Of Labor Costs Including Salaries, Wages, Compensation and Deductions For Employees, Board Members and Contractors, (DE-6 & 941 Forms - Quarterly and Annual Payroll Tax Returns) GC §60201(d)(12); CCP §337; 29 CFR §§516.5, 516.6(a)(1); IRS Reg. §31.6001-1(e)(2); 26 CFR §1.6001- 1; R&T §19530; 29 CFR 516.5(a)-(b) Local Resources Program Reports (LRP) / Water Certifications GC §60201; 40 CFR 141.91 OCERS File Copies of OCERS payments, statements, etc. GC §60201(d)(12); 29 CFR §516.6(a)(1); CL refers to final payment OCERS Retirement Report GC §60201(d)(12); 29 CFR §516.6(a)(1); Business Value 18 Financial & Admin. Services Adopted: TBDOCSD 18-22-21 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC Vital Confidential Historical Revenue & Taxation Code Terminated Internal Revenue Code Life of Organization or Permanent Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Penal Code (CA)Superseded Office of Management & Budget Separated Retention Number Record Type Retention Length (Years Unless Specified) Special Storage Consideration Retention Citations / Comments Secretary of State Vital Financial & Admin. ServicesUnited States Code Water Code General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Citation Codes Retention Codes Orange County Sanitation District Records Retention Schedule FAD024 7 FAD025 10 FAD026 7 FAD027 LO FAD028 7 V FAD029 7 FAD030 7 Petty Cash Records GC §60201(d)(12); CCP §337; SOS a1 Rate Studies GC §60201; Business Value Tax Records - Vendor GC §60201 Trial Balance Records SoS c22; GC §60201(d)(12); GC §60201(d)(4) Rebates and Refunds Sewer Service Fees GC §60201 State Controllers Reports GC §60201; SoS c30 Tax Records - Employee: W-2's, 1099R, Annual Information Returns for Employees and Retirees 29 CFR §516.5; SOS c30; IRS Reg. §31.6001-1(e)(2); R&TC §19530; 29 CFR §516.5 - 516.6; 29 USC §436; GC §60201(d)(12); 29 CFR §31.605-1, §31.600-1(d) 19 Financial & Admin. Services Adopted: TBDOCSD 18-22-22 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC Vital Confidential Historical GMO001 LO V GMO002 LO GMO003 S+2 GMO004 NN GMO005 2 GMO006 S GMO007 2 Revenue & Taxation Code Terminated Internal Revenue Code Life of Organization or Permanent Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Penal Code (CA)Superseded Office of Management & Budget Separated Retention Number Record Type Retention Length (Years Unless Specified) Special Storage Consideration Retention Citations / Comments Annual OCSD Reports GC §60201 Secretary of State Vital General Manager's OfficeUnited States Code Water Code General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Citation Codes Retention Codes Orange County Sanitation District Records Retention Schedule Blast Program Files - Minutes, Marketing Material, Evaluations, Quarterly Reports SoS c19; GC §60201; Destroy Quarterly Reports when superseded plus 2 years Blast Working Documents - Member Rosters - Active and Inactive Non-record; GC §60201; Can submit for destruction when no longer has business value GM Monthly Reports GC §60201 Blast Development Records Research Material, Timeline, Photos SoS c28; GC §60201; Non-Historical photos can be deleted when no longer needed. Blast Procedures GC §60201; SoS c23 Blast Professional Development Articles (From External Sources) GC §60201; Can submit for destruction when no longer has business value 20 General Manager's Office Adopted: TBDOCSD 18-22-23 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC Vital Confidential Historical Revenue & Taxation Code Terminated Internal Revenue Code Life of Organization or Permanent Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Penal Code (CA)Superseded Office of Management & Budget Separated Retention Number Record Type Retention Length (Years Unless Specified) Special Storage Consideration Retention Citations / Comments Secretary of State Vital General Manager's OfficeUnited States Code Water Code General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Citation Codes Retention Codes Orange County Sanitation District Records Retention Schedule GMO008 LO H GMO009 2 GMO015 NN H GMO016 7 Historical Records GC §60201 Meeting Files - Executive Management Team (EMT) - Agenda, Minutes, Agenda Report, Handouts SoS a2; GC §60201; EMT Meeting Minutes keep LO Speeches and Presentation GC §60201; Can submit for destruction when no longer has business value; Some records may be kept for historical value Travel Records GC §60201 21 General Manager's Office Adopted: TBDOCSD 18-22-24 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC Vital Confidential Historical HRD001 LO HRD002 CL+7 HRD003 LO V HRD004 LO HRD005 CL+3 HRD006 LO C Revenue & Taxation Code Terminated Internal Revenue Code Life of Organization or Permanent Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Penal Code (CA)Superseded Office of Management & Budget Separated Retention Number Record Type Retention Length (Years Unless Specified) Special Storage Consideration Retention Citations / Comments Classification & Compensation - Class & comp studies, class specifications, salary surveys, salary schedules, pay types, reclass requests, desk audits, etc. 29 CFR §1627.3; GC §12946; GC §60201; SOS c21 Secretary of State Vital Human ResourcesUnited States Code Water Code General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Citation Codes Retention Codes Orange County Sanitation District Records Retention Schedule EEO-4 Reports and Files - Documents Required to Generate EEO-4 Report, etc.29 CFR §1602.30 Employee & Labor Relations Files - Memorandums of Understanding (MOU), Arbitration, Grievances, Union Requests, Employee Rights, Appeals, Investigations, PIP, Disciplinary Actions and Complaints, Sexual Harassment, Civil Rights, etc. 29 CFR §516.5; GC §12946; sops c20; GC §60201; 29 CFR §1602.31; 29 CFR §1627.3(b)(1)(ii); SOS c20 Temporary Employees - Hiring documents, tracking spreadsheet, request forms, etc. CCP §§336(a); 337 et. seq.; GC §60201; SOS c22, CCP §343 Deferred Compensation Records - Participation agreements 26 CFR §31.6001-1(e)(2); 26 CFR §16001-1; 29 CFR §1627.3; SOS c30 District Benefit Contracts & Summary Plan Descriptions - Health, dental, vision, etc. benefit contracts, benefits summary plan descriptions (health, dental, vision, other), etc. 9 CFR §1627.3(b)(2); 29 USC §1027; 11 CCR §560; 28 CCR §1300.85.1; GC §60201 22 Human Resources Adopted: TBDOCSD 18-22-25 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC Vital Confidential Historical Revenue & Taxation Code Terminated Internal Revenue Code Life of Organization or Permanent Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Penal Code (CA)Superseded Office of Management & Budget Separated Retention Number Record Type Retention Length (Years Unless Specified) Special Storage Consideration Retention Citations / Comments Secretary of State Vital Human ResourcesUnited States Code Water Code General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Citation Codes Retention Codes Orange County Sanitation District Records Retention Schedule HRD007 T+7 HRD009 Indefinite HRD010 T+3 HRD011 T+30 C HRD012 S+2 HRD013 T+7 V C Employee Benefit Plans and Programs - Health Insurance, Supplemental Life Insurance, Beneficiary Designations, Records, etc., Repayment Agreements, Eligibility Changes, Development Pay, Rideshare. CG §12946; GC §60201; GC §60201(d)(12); 29 CFR §1627.3(b)(2); 29 CFR §§1602.30, 32; Labor Code §1197.5 Retirees: Death+7 Organization Charts GC §60201(d)(1) et seq. Personnel Files - Includes Application, Awards, Disciplinary Actions, Certifications, Commendations, Employment Verifications, (pre-2011) Evaluations, Licenses, Status Change Forms, Policy acknowledgements, Waiver of responsibility for voluntary activities, Training records, etc., Pay Docs, Emergency Contacts, Change of Address, Outside Employment, Resignation 29 CFR §§1602.31,1627.3(b)(ii), 8 CCR §3204(d)(1) et seq., GC §§12946, 60201; 29 USC §1113. Vital until separation. Excludes Medical Records see Retention Code HRD011 Human Resources / ERP Database - Electronic records management - JDE, Cornerstone, WorkTerra, etc. Data Fields / Records are interrelated; GC §60201; JDE Database I-9 Forms & Self-Identification Forms 8 USC §1324a(b)(3)(B); 8 CFR §1274a.2(b)(2)(i)(A) Medical Files - Fitness for Duty, Leaves of Absence, etc., Interactive Process, Worker's Comp 8 CCR §3204(d)(1) et seq., GC §§12946, 60201; Filed separately. 23 Human Resources Adopted: TBDOCSD 18-22-26 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC Vital Confidential Historical Revenue & Taxation Code Terminated Internal Revenue Code Life of Organization or Permanent Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Penal Code (CA)Superseded Office of Management & Budget Separated Retention Number Record Type Retention Length (Years Unless Specified) Special Storage Consideration Retention Citations / Comments Secretary of State Vital Human ResourcesUnited States Code Water Code General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Citation Codes Retention Codes Orange County Sanitation District Records Retention Schedule HRD014 CL+3 HRD015 CL+7 H HRD016 T+7 HRD017 CL+3 H HRD018 EX+5 Recruitment Records - Advertisements, Job Brochures, Test Data, Rating Sheets, Questions, Eligibility Lists, etc. electronic/NEOGOV records 29 CFR §1602 et seq & §1627.3(a)(b), 2 CCR §7287.0(c)(2), 8 CCR §11040, GC §§12946; Database Neogov Indefinite. Retention begins after hiring decision. District Benefit Plans - Benefits summary plan descriptions (health, dental, vision, other), etc.GC §60201; SOS c21 Training Program Records - Class Attendance Sheets, Schedules, Classes Offered, Curriculum or Syllabus, and Training Materials Development GC §60201, SOS c21; Data Fields / Records are interrelated; Training Database Indefinite; Non-database paper personnel training records TE+7 See Retention Code HRD013; Not employee specific. Background Checks - Candidate background checks GC §60201; SOS c21 Human Resources Programs - Rideshare, Tuition Reimbursement, Computer Loan, Development Pay SharePoint for electronic 24 Human Resources Adopted: TBDOCSD 18-22-27 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC Vital Confidential Historical ITD001 T+3 ITD002 LF+2 V ITD003 S+2 V ITD004 S ITD005 2 Revenue & Taxation Code Terminated Internal Revenue Code Life of Organization or Permanent Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Penal Code (CA)Superseded Office of Management & Budget Separated Secretary of State Vital Information TechnologyUnited States Code Water Code General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Citation Codes Retention Codes Orange County Sanitation District Records Retention Schedule Wiring Specs and Test Results - Loop Drawings GC §60201; SoS c22; SoS a1 (Active until revised/rescinded/superseded) System and Software Documentation: Network Design, Instruction, Licenses, License Codes, Agreements, Systems List, Permission to Directories, SharePoint Lists, Hardware and Software Documentation, Source Code, IT Manuals SOS c22; Life of System, GC §60201, Superseded With Version Updates, GC §34090 et seq.; Source Code is Kept in Escrow, Retain until it no longer has business value; GC §34090 et seq.; Until system is no longer operational Retention Number Record Type Retention Length (Years Unless Specified) Special Storage Consideration Retention Citations / Comments Access Authorization Forms: Email Access Requests, Internet Access Requests, Mobile Devices Access GC §60201 Information Logs: Internet, Phone, Badge, Visitors GC §60201 Data is interrelated; GC §60200; GC §60201 et seq.GIS (Geographic Information System) Database: Layers 25 Information Technology Adopted: TBDOCSD 18-22-28 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC Vital Confidential Historical Revenue & Taxation Code Terminated Internal Revenue Code Life of Organization or Permanent Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Penal Code (CA)Superseded Office of Management & Budget Separated Secretary of State Vital Information TechnologyUnited States Code Water Code General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Citation Codes Retention Codes Orange County Sanitation District Records Retention Schedule Retention Number Record Type Retention Length (Years Unless Specified) Special Storage Consideration Retention Citations / Comments ITD006 CL+3 ITD007 4 V ITD008 S+2 ITD013 S+2 ITD015 1 IT Asset Inventory Database: IT assets, Printers, Hardware, SSCM, Server Lists, Asset Explorer GC §60201; GC §34090 et seq. System Log (Database): Transaction Logs, Error Logs Until superseded or overwritten; SoS c22 IT Help Desk System: Service Tickets, Change Requests and Releases GC §60201 Network Diagrams/ System Configurations/ Maps/ Plans Retain until it no longer has business value; GC §60201; GC §34090 et seq. ; SoS c22 Video Surveillance Files and System Security Database GC §§53160, 53161- Based on government code we are required to keep video monitoring for 1 year and telephone/radio communications for 100 days. They can be destroyed after these time periods with the following exception: If written minutes or an audio recording of the video is taken, the video can be destroyed after 90 days. The written minutes and audio recording can be destroyed after 2 years. Retain until it no longer has business value or until overwritten; GC §60201; GC §34090 et seq. 26 Information Technology Adopted: TBDOCSD 18-22-29 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC Vital Confidential Historical Revenue & Taxation Code Terminated Internal Revenue Code Life of Organization or Permanent Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Penal Code (CA)Superseded Office of Management & Budget Separated Secretary of State Vital Information TechnologyUnited States Code Water Code General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Citation Codes Retention Codes Orange County Sanitation District Records Retention Schedule Retention Number Record Type Retention Length (Years Unless Specified) Special Storage Consideration Retention Citations / Comments ITD016 EX+2 ITD018 NN V ITD019 LO ITD020 S+3 ITD021 NN ITD022 LO V Records Destruction Records: Approvals, Certificates, Requests GC §60201 Two-Way Radio Licensing and Information GC §60201; GC §34090 Virtual Computer Files GC §34090.7; SOS c22; Replicated for disaster recovery purposes Records Management Annual Audits: Inventory, Storage, Destruction, etc. GC §60201 Records Management Project Files GC §60201; SOS c23; Can submit for destruction when no longer has business value Records Retention Schedules CCP §343; SOS c23 Enacted by Board Resolution and retained Indefinitely. Includes schedule amendments. Schedules are superseded when updated. 27 Information Technology Adopted: TBDOCSD 18-22-30 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC Vital Confidential Historical OMD001 2 OMD002 2 OMD003 3 OMD004 LO OMD005 30 OMD006 3 OMD007 2 Revenue & Taxation Code Terminated Internal Revenue Code Life of Organization or Permanent Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Penal Code (CA)Superseded Office of Management & Budget Separated Retention Number Record Type Retention Length (Years Unless Specified) Special Storage Consideration Retention Citations / Comments Chemical Inventory Records: Delivery, Transfer, Usage, Manifest Worksheet and Inventory Logs GC §60201; 49 CFR 172.704(d); 49 CFR 199.117; SoS c33 Secretary of State Vital Operations & MaintenanceUnited States Code Water Code General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Citation Codes Retention Codes Orange County Sanitation District Records Retention Schedule Logs - Control Center Plant Operations GC §60201 Logs Operations Monthly Logs, Inspector Diaries, Control Center Visitor Logs GC §60201; 40 CFR 122.41(j)(2) Monthly Reports: Operating and Status Reports GC §60201 Complaint Files and Problem Reports: Related to Organizations Operations - Odor, Noise, Call Center Complaints GC §60201; SoS c42 Confined Space Entries 40 CFR §122.41(j)(2); SoS c42 Flow Records GC §60201 28 Operations & Maintenance Adopted: TBDOCSD 18-22-31 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC Vital Confidential Historical Revenue & Taxation Code Terminated Internal Revenue Code Life of Organization or Permanent Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Penal Code (CA)Superseded Office of Management & Budget Separated Retention Number Record Type Retention Length (Years Unless Specified) Special Storage Consideration Retention Citations / Comments Secretary of State Vital Operations & MaintenanceUnited States Code Water Code General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Citation Codes Retention Codes Orange County Sanitation District Records Retention Schedule OMD008 S+5 OMD009 2 OMD010 5 OMD011 LO OMD012 S OMD013 2 OMD014 7 Process Data: Includes Electronic MSO's and TPODS GC §60201 Reference Files GC §60201; GC §53161 Speeches/Presentations GC §60201; GC §53161 O&M Policies & Procedures GC §60201; SoS c19 Operating Journals: Round Sheets, Alarm summary, Operations Round Sheets, Midnight Readings, etc. GC §60201; GC §53161 Operating Records: MSOs (hard copy), AS Plant Reports, Operators Schedules GC §60201; 40 CFR 122.41(j)(2) AQMD - 1-Cengen emissions Reports, 2-AQMD Round Sheets 3-Flare Rest GC §60201; SoS c27 29 Operations & Maintenance Adopted: TBDOCSD 18-22-32 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC Vital Confidential Historical Revenue & Taxation Code Terminated Internal Revenue Code Life of Organization or Permanent Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Penal Code (CA)Superseded Office of Management & Budget Separated Retention Number Record Type Retention Length (Years Unless Specified) Special Storage Consideration Retention Citations / Comments Secretary of State Vital Operations & MaintenanceUnited States Code Water Code General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Citation Codes Retention Codes Orange County Sanitation District Records Retention Schedule OMD015 LF+2 OMD016 3 OMD017 LF+2 OMD018 LF+2 OMD019 LF+2 OMD020 5 OMD021 5 OMD022 LO Generator Operation Logs & Inspections: Fixed or Stationary GC §34090 Pressure Vehicle CNG Tank Certifications or Permits, Inspections Department Preference; GC §34090 et. seq.; Life of Asset; SoS c47; SoS c47 Vehicle Smog Check Inspection Report Department preference; GC §60201 Facility Maintenance & Repair GC §60201; Life of Asset + 2 years; SoS c47 Collection System Process Data: Pump Station, CRISP GC §60201; Business Value Bit Inspection (CHP Commercial Vehicle Inspection) 49 CFR §396.11(c)(2); GC §60201; Life of the Vehicle + 2 years Certifications: Mobile Crane, Vehicles, etc. Department Preference; 8 CCR §14300.33(a); GC §60201 et seq.; LC §6429c Chain of Custody: Source Control, Spilt Sample OSHA records are required to be retained for 5 years; 8 CCR §14300.33(a); GC §60201 et seq.; SOS c21 30 Operations & Maintenance Adopted: TBDOCSD 18-22-33 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC Vital Confidential Historical Revenue & Taxation Code Terminated Internal Revenue Code Life of Organization or Permanent Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Penal Code (CA)Superseded Office of Management & Budget Separated Retention Number Record Type Retention Length (Years Unless Specified) Special Storage Consideration Retention Citations / Comments Secretary of State Vital Operations & MaintenanceUnited States Code Water Code General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Citation Codes Retention Codes Orange County Sanitation District Records Retention Schedule OMD023 10 OMD024 10 OMD025 4 OMD026 LF+2 Inspection Reports & Photos - Manhole GC §60201; SOS c45 Sewer Line Maintenance Files GC §60201 Vehicle Inspection & Equipment Checks Files: Daily Safety Checks, Pre-Starts, Commercial Vehicle Pre-Starts and Forklift Inspections, Pre-Trip Inspections, CHP Inspections, Daily Vehicle Inspections, Daily Equipment Checks 49 CFR §396.11(c)(2);49 CFR §396.21(b)(1); GC §60201; GC §34090 Vehicle Records: Equipment Files, Maintenance, Registrations, Vehicle Titles ("Pink Slips"), Vehicle Citations 8 CCR § 3203(b)(1); 49 CFR §396.21(b)(1); 49 CFR §396.3(c); CCP §337 et. Seq.; GC §34090; Vehicle Titles/Pink Slips are transferred to new owner upon sale of vehicle all other records are retained until Disposal of Vehicle or Equipment + 2 years. 31 Operations & Maintenance Adopted: TBDOCSD 18-22-34 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC Vital Confidential Historical PAO001 S+2 PAO002 S+5 PAO003 7 PAO004 LO PAO005 2 Revenue & Taxation Code Terminated Internal Revenue Code Life of Organization or Permanent Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Penal Code (CA)Superseded Office of Management & Budget Separated Retention Number Record Type Retention Length (Years Unless Specified) Special Storage Consideration Retention Citations / Comments Education Curriculum: Sewer Science, Water Festival, etc. SoS c24; GC §60201; Destroy 2 years after superseded Secretary of State Vital Public AffairsUnited States Code Water Code General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Citation Codes Retention Codes Orange County Sanitation District Records Retention Schedule Presentations and Supporting Documents: (Includes PowerPoints)GC §60201; SOS c24; Non-Marketing related Outreach/Event File: Tour Documentation, RSVP's, sign-in sheets, etc.SoS c24; GC §60201 Marketing Material: Flyers, Brochures, Newsletters, Email Blasts, etc.GC §60201; SOS c19 Photos & Videos GC §60201; Non-Historical Photos can be deleted when no longer needed. 32 Public Affairs Adopted: TBDOCSD 18-22-35 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC Vital Confidential Historical Revenue & Taxation Code Terminated Internal Revenue Code Life of Organization or Permanent Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Penal Code (CA)Superseded Office of Management & Budget Separated Retention Number Record Type Retention Length (Years Unless Specified) Special Storage Consideration Retention Citations / Comments Secretary of State Vital Public AffairsUnited States Code Water Code General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Citation Codes Retention Codes Orange County Sanitation District Records Retention Schedule PAO006 LO PAO007 2 PAO008 Indefinite PAO009 LO PAO010 LO PAO011 LO Press/Media Releases GC §60201; SOS c40 Publication Proofs - Non Board Related General Marketing GC §60201; SOS c24 Social Media Posts: Facebook, Twitter, YouTube, Instagram, Etc.GC §60201 Website Content GC §60201 Employee Events: Agency Awards, Recognitions, Announcements GC §60201 Legislative Files: Letters of Support, Opposition, Plan Consolidation GC §60201; SoS c28 33 Public Affairs Adopted: TBDOCSD 18-22-36 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC Vital Confidential Historical RMS001 LO V RMS002 5 RMS003 NN RMS004 LO V RMS005 LO V RMS006 LF RMS007 T+30 RMS008 LO Revenue & Taxation Code Terminated Internal Revenue Code Life of Organization or Permanent Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Penal Code (CA)Superseded Office of Management & Budget Separated Retention Number Record Type Retention Length (Years Unless Specified) Special Storage Consideration Retention Citations / Comments Certificate of Insurance CCP §337.15; SOS c24 Secretary of State Vital Risk Management & SafetyUnited States Code Water Code General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Citation Codes Retention Codes Orange County Sanitation District Records Retention Schedule EOC Activation Notifications & Records GC §60201; 29 CFR 1910.119(g); 29 CFR §1910.120(q) Industrial Hygiene & Safety Files - Location: Hazard Assessments, Site Assessments, Industrial Hygiene Reports, Surveys, Audits 8 CCR §3204; 29 CFR §1910 Medical Files - Occupational: Fit Testing 8 CCR §3204; 29 CFR §1910 DOT Random Drug & Alcohol Test Records 29 CFR §1627.3(b)(v); 49 CFR §382.401 et seq.; GC §12946, GC §60201 Emergency Exercises & Drills, After Action Reports GC §60201; 29 CFR 1910.119(g); 29 CFR §1910.120(q) Emergency Response & Disaster Recovery Files GC §60201; 29 CFR 1910.119(g); 29 CFR §1910.120(q) OSHA Compliance Records: Citations, Appeals Related, Correspondence, etc. OMB 1220-0029; 29 CFR §1904.4; SOS a2; For OSHA 300 and 301 logs See Retention Code RMS012 34 Risk Management & Safety Adopted: TBDOCSD 18-22-37 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC Vital Confidential Historical Revenue & Taxation Code Terminated Internal Revenue Code Life of Organization or Permanent Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Penal Code (CA)Superseded Office of Management & Budget Separated Retention Number Record Type Retention Length (Years Unless Specified) Special Storage Consideration Retention Citations / Comments Secretary of State Vital Risk Management & SafetyUnited States Code Water Code General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Citation Codes Retention Codes Orange County Sanitation District Records Retention Schedule RMS009 CL+5 RMS010 2 RMS011 LO RMS012 7 RMS014 CL+7 RMS015 LO RMS016 5 RMS017 5 Workers Compensation Files CCR §14311; §15400.2; LC §110-139.6; SOS c24 OSHA Logs: 300 & 301 Logs 8 CCR §14300.33(a); 29 CFR §1904.33, 29 CFR §1904.44; GC §60201 et seq.; LC §6429c Risk Management Reports OMB 1220-0029; 29 CFR §1904.4; SOS c24 Risk & Safety Committee and Meeting Documents 8 CCR §3203 et seq.; GC §60201 et seq. Calibration Gas Detectors Annual Recertification 8 CCR §14300.33(a); 29 CFR §1904.33, 29 CFR §1904.44; GC §60201 et seq.; LC §6429c Accident & Incident Records GC §60201; CCP §338; CFR §1904.6; SOS c24 Asbestos & Lead Abatement Records GC §60201; CCR §1529(n)6 Hazardous Materials Records: Business Plans, Hazardous Materials Inventory, Disclosures GC §60201; 40 CFR §122.21(p); 40 CFR §122.41 35 Risk Management & Safety Adopted: TBDOCSD 18-22-38 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC Vital Confidential Historical Revenue & Taxation Code Terminated Internal Revenue Code Life of Organization or Permanent Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Penal Code (CA)Superseded Office of Management & Budget Separated Retention Number Record Type Retention Length (Years Unless Specified) Special Storage Consideration Retention Citations / Comments Secretary of State Vital Risk Management & SafetyUnited States Code Water Code General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Citation Codes Retention Codes Orange County Sanitation District Records Retention Schedule RMS018 3 RMS019 LO V RMS020 LO RMS021 LO V RMS024 7 RMS025 LO RMS026 LO Confined Space Records 5157(e)(6); 5157(d)(14); 29 CFR 1910.146(e)(6); GC 3400, 53161 Hazardous Waste Records: Manifests, Disposals, Recyclable Non Hazardous Waste Material, Batteries, etc. 8 CCR §3204(d)(1) et seq.; 40 CFR §122.41(j)(2); 40 CFR §141.33(b); 26 CCR §22-64470(a); GC §12946, §60201; CCR §66262.40(a), §66264.71(b)(6), SOS c47 Training Records - Safety: Rosters, Syllabus, Schedule, Curriculum Material Only GC §60201; SOS c21; Applies to Paper Records Training Database GC §60201; Records in Cornerstone Database are Indefinite Radiation License & Disposal Records GC §60201 HazMat Permits, Environmental Health Permits: Bulk Chemicals, Fire, UST, Battery Storage, etc.GC §60201 Safety Data Sheets (SDS)8 CCR §5194; 29 CFR §1910 36 Risk Management & Safety Adopted: TBDOCSD 18-22-39 CCP C CCR CL CFR EX EC EL GC H H&S LF IRC LO IRS MA LC NN PC S OMB SP R&TC T SOS V USC WC Vital Confidential Historical Revenue & Taxation Code Terminated Internal Revenue Code Life of Organization or Permanent Internal Revenue Service Maturity Labor Code (CA)When No Longer Needed Code of Civil Procedure (CA)Confidential California Code of Regulations Closed or Completed Code of Federal Regulations Expired or Expiration Penal Code (CA)Superseded Office of Management & Budget Separated Retention Number Record Type Retention Length (Years Unless Specified) Special Storage Consideration Retention Citations / Comments Secretary of State Vital Risk Management & SafetyUnited States Code Water Code General Retention Schedule Information Any Public Records Act requests, litigation, audits, claims and investigations suspends the stated retention periods. Authorization and proper destruction methods are required prior to destroying all official records as stated in the District's Records Retention Policy. Retention and destruction of records applies to all media types including both paper and electronic documents. Copies, notes, preliminary drafts and transitory records can be destroyed when no longer needed for District business and do not require prior authorization. *When original records have reached their destruction term all copies and duplicates must be destroyed along with the original, regardless of the media of the record. Official Records cannot be discarded in trash bins. They must be submitted to Records Management for secure destruction. Elections Code (CA)Electronic Government Code (California)Historical Health & Safety Code Life of Facility, Equip. or Software Citation Codes Retention Codes Orange County Sanitation District Records Retention Schedule RMS027 CL+2 RMS028 S RMS029 2 RMS030 T+30 RMS031 LO Industrial Hygiene & Safety Files - Personnel: Industrial Hygiene Reports - Air Sampling, Noise Testing and Workplace Contaminants GC §60201; 3204 - (d)(1)(B); 29 CFR 1910.1020 Claims GC §60201 Job Site Safety Analysis (JSSA), Job Hazard Analysis (JHA), Hot Work Permits GC §60201; 29 CFR 1910.252; 29 CFR 1910.132; 29 CFR 1904.6 - O.M.B. No. 1218-0176 PPE Assessments GC §60201; 29 CFR 1910.132 Lock Out Tag Out Audits (LOTO)GC §60201; 29 CFR 1910.147; (c)(7); (f)(2); (c)(6) 37 Risk Management & Safety Adopted: TBDOCSD 18-22-40